- High School Diploma or GED
- Microsoft Word
- FINRA License
Provide administrative and operational support for an assigned group of Financial Advisors (FAs). The support provided will vary depending on the requirements of the FAs and the branch. The position is required to maintain a high degree of confidentiality with respect to client, FA, branch and company information.
Successful completion of the FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]) is required.
Working knowledge of the securities industry, its operations and products to include stocks, bonds, margin accounts, options, various retirement plans (IRAs, Simple, Roth) mutual funds, annuities.
Familiar with general Company business policies and procedures, as well as back-office operations and securities industry requirements.
High School diploma, GED or comparable work experience. Post-Secondary education preferred. Prior industry experience a plus.
Proficient computer skills (working knowledge of Microsoft Word, Excel and Outlook).
Solid mathematical aptitude.
Strong communications skills; verbal and written.
Good organizational and problem solving skills.
Attention to detail.
Ability to manage multiple demands and competing priorities in a deadline-oriented environment.
Ability to work in a computerized environment.
Follow policies and procedures. Maintain client confidentiality.
Communicate in a clear and service oriented manner. Use appropriate, professional language and grammar to effectively exchange ideas and information.
Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
Ability to maintain regular, predictable attendance.
Provide professional, courteous customer service to ensure client satisfaction.
Ensure adherence to all Branch, Firm and Compliance policies, procedures, rules and regulations.
Review and maintain all account documents and information.
Facilitate the transfer of client funds and/or securities and the issuance of checks upon request.
Inform FA of all important information and activities related to client accounts and transactions.
Provide professional telephone support for the assigned FAs.
Compose and type letters and memoranda in accordance with established policies and procedures.
Assist FA in developing and implementing periodic client mailings to enhance the relationship between the FA, the client and the Registered Client Associate.
Watch for potential problems. Alert the FA and /or Branch Manager when necessary.
Enter orders to include buy/sell stock and bond trades, sell stop orders, option and margin trades and mutual funds.
Process annuity and insurance payments.
Understand and utilize the Firm’s desktop systems and applications and the related functionality as it applies to client service and business enhancement.
Perform any other duties and special projects as necessary.
Keyword: Registered Client Associate
From: D.A. Davidson Companies